The Securities Industry Essentials (SIE) exam is a requirement to obtaining a Series 6, 7, 79, or 99 license.

Where the courses for the 6, 7, 79, or 99 licenses contain information specific to that license type, the SIE course primarily covers basic information about the securities industries and general financial concepts. The new SIE course materials and exam cover four main areas:

Knowledge of Capital Markets

Understanding Products and Their Risks

Understanding Trading, Customer Accounts, and Prohibited Activities

Overview of the Regulatory Framework

About The SIE Course

Our SIE Live & OnDemand course has two primary components to help you study for - and pass - your SIE exam: an instructor-led class that you attend at a scheduled time from the comfort of your home of office, plus a set of self-study materials that you should review prior to your seminar. Details of each are included below.

Self-Study Materials

Our Self-Study materials include both print and online tools designed to fit your study style and schedule.

This program is intended provide learners with the confidence and content mastery needed to pass their licensing exam - the first time!

Live & OnDemand Portion

This "Virtual Class" provides the same structure and format of our live classroom exam prep course in regard to presentation sequence, topics emphasized, accompanying self-study materials, and interactive instruction.

This format mirrors the structure and format of classroom instruction whereby students can ask questions in real time during the presentation. The only difference from an in-person seminar is that you attend via computer vs attending at a hotel or other physical venue.

The OnDemand portion also is archived, thus allowing you to view the program anytime, anywhere and as often as you'd like to prepare for the SIE exam. Of note: it is recommended that you reivew the self-study and archived versions of the OnDemand class prior to attending your own live session.

Class Format:

Classes are conducted over three successive days, from 10:00am - 4:30pm ET, and begin on the date posted herein. Candidates should plan to spend approximately 3-4 weeks with these materials prior to attending the Live Online class.

How To Access This Course:

Upon registration, you will be shipped all the materials noted above, plus access instructions for the online portions of your program will be emailed to you. Ground shipping for the books is included in the price of this course. You will have access to your online materials for five months from the date of purchase.